Sustainable Fishery Systems

Anthony Charles, PhD, is Director of the School of the Environment and Professor in the Sobey School of Business at Saint Mary’s University, Halifax, Canada.

Preface and Guide to the Book xv

Acknowledgements xviii

Part I Fishery Systems 1

1 Introducing Fishery Systems 3

1.1 Sustainability and Resilience 3

1.2 Rationale for a Systems Approach 6

1.3 Fishery Systems as Social-Ecological Systems 7

1.4 Depicting Fishery Systems 10

1.4.1 Fishing Effort 10

1.4.2 Adding Dynamics 11

1.4.3 Adding Complexity 12

1.4.4 The Fishery System 13

1.4.5 Alternatives 14

1.5 Characterising Fishery Systems 18

1.5.1 Small-Scale Versus Large-Scale Fishery Systems 18

1.5.2 Spatial Scale and Time Scale 21

1.5.2.1 Spatial Scales 21

1.5.2.2 Time Scales 22

1.5.3 Other Approaches to Characterising Fishery Systems 23

1.6 Complexity 24

1.7 Next Steps 25

2 The Natural System: The Fish 27

2.1 What Is Caught in Fishery Systems? 28

2.1.1 Fishes 30

2.1.1.1 Inland (Freshwater) Fish 31

2.1.1.2 Pelagic Marine Fish 31

2.1.1.3 Demersal Marine Fish 32

2.1.2 Shellfish 33

2.1.3 Characteristics 37

2.2 Spatial Distribution of Fished Resources 38

2.3 Fish Dynamics 41

2.3.1 Single-Species Dynamics 41

2.3.2 Multi-Species Dynamics 45

3 The Natural System: Fishery Ecosystems 48

3.1 Ecosystems 48

3.1.1 Aquatic/Fishery Ecosystems 50

3.1.2 A Typology of Fishery Ecosystems 52

3.2 Biodiversity 55

3.3 The Physical–Chemical Environment 58

3.3.1 The Winds 58

3.3.2 Ocean Currents 59

3.3.3 Upwellings 61

3.3.4 Other Relatively Localised Phenomena 61

3.3.5 Physical Features 62

3.4 Dynamics of Fishery Ecosystems and the Biophysical Environment 62

4 The Human System: Fishers and Fishworkers 65

4.1 Fishers and Fishworkers 65

4.1.1 A Typology of Fishers 66

4.1.2 Women in Fishing 70

4.1.3 Fishworkers in the Post-Harvest Sector 73

4.1.4 Fisher Organisations 73

4.2 Fishing Methods 75

4.2.1 A Typology of Fishing Methods 75

4.2.1.1 Seines/Encircling Gear 77

4.2.1.2 Trawls and Other Towed/Dragged Gear 77

4.2.1.3 Gill Nets and Entangling Nets: Drift and Static Gear 77

4.2.1.4 Traps and Pots 78

4.2.1.5 Lines 78

4.2.1.6 Other Methods 78

4.2.2 The Choice of Fishing Method 79

4.2.2.1 Biological 80

4.2.2.2 Economic 80

4.2.2.3 Social and Governance 80

4.3 Fisher and Fleet Dynamics 80

4.3.1 Dynamics of Fishing Effort 81

4.3.2 Capital Dynamics and Fishing Capacity 83

4.3.3 Technological Dynamics 85

4.3.4 Fleet Dynamics 86

5 The Human System: Post-Harvest Aspects and Fishing Communities 89

5.1 The Post-Harvest Sector of the Fishery 89

5.1.1 Processing 92

5.1.2 Marketing and Markets 95

5.1.2.1 Marketing 95

5.1.2.2 Markets 96

5.1.3 Distribution and Trade 98

5.1.3.1 Distribution 98

5.1.3.2 Trade 98

5.1.4 Consumers 99

5.1.4.1 Consumer Preferences 99

5.1.4.2 Consumer Demand 100

5.1.5 Food Security 101

5.2 Fishing Households and Communities 102

5.2.1 Households 102

5.2.2 Communities 105

5.3 The Socioeconomic Environment 108

5.3.1 Links of Fishery Systems and Their Socioeconomic Environment 108

5.3.2 Labour 108

5.3.2.1 Labour Mobility 109

5.3.2.2 Effects on the Fishery 110

5.4 Post-Harvest and Fishing Community Dynamics 111

5.4.1 Dynamics of Markets and Consumer Demand 111

5.4.2 Dynamics of Communities and the Socioeconomic Environment 112

Part II The Fishery Governance and Management System 115

6 Fishery Governance 117

6.1 Rationale for Governance and Management 117

6.1.1 Open Access 118

6.1.2 The Need for Management 118

6.1.3 The Need for Participatory Management 119

6.2 Governance and Management 123

6.3 Fishery Values and Objectives 125

6.3.1 A Portfolio of Fishery Objectives 127

6.3.2 Objectives, Priorities, and Conflict 129

6.4 Fishery Management Institutions 131

6.4.1 Types and Roles of Institutions 131

6.4.2 The Choice of Institutions 132

6.4.3 Examples of Institutions 132

6.5 Governance of International Fisheries 137

6.6 Legal Framework 138

6.6.1 Legal Pluralism 139

6.7 Dynamics of Fishery Governance 140

7 Fishery Management 142

7.1 Time Scales of Management 143

7.2 Spatial Scales of Management 143

7.2.1 International Coordination 145

7.2.2 Decentralisation/Devolution 145

7.3 Appropriate Fishing Effort and Catch Levels 147

7.3.1 The Yield-Effort Curve 147

7.3.2 The Gordon–Schaefer Graph 149

7.3.3 Fishery Objectives Influence the Choice of Effort Levels 150

7.4 Developing a Portfolio of Fishery Management Measures 153

7.5 Implementation at the Operational Level 154

7.6 Fishery Enforcement 156

7.7 A Survey of Fishery Management Measures 157

7.7.1 Input (Effort) Controls 158

7.7.1.1 Limited Entry 158

7.7.1.2 Limiting the Capacity per Fisher or per Vessel 158

7.7.1.3 Limiting the Intensity of Operation 158

7.7.1.4 Limiting Time Fishing 158

7.7.1.5 Limiting the Location of Fishing 159

7.7.1.6 Challenges with Input Controls 160

7.7.2 Output (Catch) Controls 160

7.7.2.1 Total Allowable Catch 161

7.7.2.2 Individual Quotas 162

7.7.2.3 Community Quotas 162

7.7.2.4 Escapement Controls 163

7.7.2.5 Challenges with Output Controls 163

7.7.3 Technical Measures 164

7.7.3.1 Gear Restrictions 165

7.7.3.2 Size Limits 166

7.7.3.3 Closed Areas 166

7.7.3.4 Closed Seasons 167

7.7.4 Ecologically Based Management 168

7.7.4.1 Taxes and Royalties 169

7.7.5 Subsidies 170

7.8 Dynamics of Fishery Management 172

8 Fishery Development 174

8.1 Rationale for Fishery Development 174

8.2 Objectives of Fishery Development 175

8.3 Strategic Choices in Fishery Development 178

8.3.1 New Fisheries 178

8.3.2 Existing Fisheries 179

8.3.3 Integrated Development 180

8.4 Targeting Fishery Development 181

8.4.1 Needs Assessment 181

8.4.2 Positive Signs 181

8.4.3 Other Considerations 182

8.5 Options for Fishery Development 183

8.5.1 Direct Support to Fishing Activities 183

8.5.2 Institutional Enhancement 183

8.5.3 Training and Human Resource Development 183

8.5.4 Economics and Planning 184

8.5.5 Scientific, Assessment, Statistical, and Information Support 184

8.5.6 Fisheries Management and Monitoring/Control/Surveillance 184

8.5.7 Post-Harvest Support 185

8.6 Participatory Fishery Development 185

9 Fishery Knowledge 187

9.1 The Nature of Fishery Knowledge 188

9.2 The Knowledge of Indigenous Peoples, Fishers, and Communities 189

9.2.1 Traditional Ecological Knowledge (TEK) 190

9.2.2 Indigenous Knowledge 190

9.2.3 Fisher Knowledge and Local Knowledge 192

9.3 Connecting Fisher/Local/Indigenous Knowledge with Fishery Science/ Research 195

9.4 Knowledge Within Institutions 198

9.4.1 Governments 198

9.4.2 International Agencies 199

9.4.3 Universities 199

9.4.4 Private Sector and Nongovernmental Organisations (NGOs) 200

9.5 Fishery Knowledge: The Natural System 200

9.5.1 Stock Assessment 201

9.5.1.1 Stock Assessment Process 201

9.5.1.2 Evolution of Stock Assessment: Single Species and Multi-Species 202

9.6 Fishery Knowledge: The Human System 205

9.7 The Nature of Knowledge Production 208

9.7.1 Disciplinary Knowledge 208

9.7.2 Multidisciplinary, Interdisciplinary, Transdisciplinary Approaches 209

9.7.2.1 Multidisciplinary 209

9.7.2.2 Interdisciplinary 209

9.7.2.3 Transdisciplinary 209

9.7.3 Pure (Basic) and Applied (Targeted) Knowledge 211

9.8 The Structure of Knowledge Production 211

9.8.1 Organized by Species 211

9.8.2 Organized by Function 212

9.8.3 Organized on a Geographical/Ecosystem Basis 213

9.9 Dynamics of Fishery Knowledge 213

Part III Three Major Challenges in Fishery Systems 215

10 Uncertainty in Fishery Systems 217

10.1 Sources of Uncertainty in Fishery Systems 218

10.1.1 Sources in the Natural System 218

10.1.2 Sources in the Human System 218

10.2 A Typology of Uncertainty 219

10.2.1 Introduction: The Stock–Recruitment Relationship 219

10.2.2 Randomness 220

10.2.3 Uncertainties in Data and Parameters 221

10.2.4 Structural Uncertainty 222

10.3 Linking Uncertainty and Dynamics 224

11 Conflict in Fishery Systems 227

11.1 Conflict over Priorities: Fishery Paradigms 229

11.1.1 The Conservation Paradigm 230

11.1.2 The Rationalisation Paradigm 230

11.1.3 The Social/Community Paradigm 231

11.1.4 Fishery Paradigms in Practice: Efficiency and Allocation 232

11.2 A Typology of Fishery Conflicts 234

11.2.1 Fishery Jurisdiction 235

11.2.2 Management Mechanisms 236

11.2.3 Internal Allocation 236

11.2.4 External Allocation Conflicts 237

11.2.4.1 Domestic Versus Foreign Fisheries 237

11.2.4.2 Fishers Versus Fish Farming (Aquaculture) 238

11.2.4.3 The Fishery Versus Competing Industries 239

12 Attitudes (The Story of a Fishery Collapse) 242

12.1 The Cod Collapse Experience 242

12.1.1 The Collapse 242

12.1.2 The Aftermath 243

12.1.3 Understanding the Collapse 244

12.1.4 Recovery? 245

12.1.5 The Future 246

12.2 Attitudes Underlying the Cod Collapse 246

12.2.1 The Role of the Regulator 247

12.2.2 Blame for the Collapse 248

12.2.3 The Burden of Proof 250

12.2.3.1 Stock Assessment 250

12.2.3.2 Fishing Gear 251

12.2.4 Conservation Can Wait 252

12.2.5 The Illusion of Certainty and the Fallacy of Controllability 254

12.2.6 Synthesis on Fishery Attitudes 256

Part IV Modern Strategies for Fishery Systems 259

13 Sustainability and Resilience 261

13.1 Sustainability 262

13.2 Resilience 265

13.3 The Sustainable Development Goals (SDGs) 268

13.4 Components of Sustainability and Resilience 268

13.5 Sustainability and Resilience of Institutions 273

13.5.1 Institutional Sustainability 273

13.5.2 Institutional Resilience 274

13.5.3 Institutional Effectiveness 275

13.6 Sustainability and Resilience within the Fishery System 277

13.6.1 Biodiversity 278

13.6.2 Fishing Fleets, Capacity, and Subsidies 279

13.6.3 Efficiency 282

13.6.4 Livelihood Diversity 283

13.6.4.1 Encourage Multi-Species Fisheries 284

13.6.4.2 Encourage Multiple Sources of Livelihood for Fishers 284

13.6.4.3 Diversify (Broaden the Base of) the Fishery-Dependent Economy 284

13.6.5 Post-Harvest and Fishing Communities 285

13.6.6 Fishery Objectives and Principles 285

13.6.7 Managing Conflict 286

13.7 Assessing Sustainability and Resilience in Fishery Systems 287

13.7.1 Sustainability Indicators 288

13.7.2 Resilience Assessment and Indicators 294

13.7.3 Developing a Framework of Indicators 296

14 Adaptive, Robust, and Precautionary Management 298

14.1 Uncertainty and Risk 298

14.2 Risk Assessment 299

14.3 Risk Management: Analytical Approaches 300

14.4 Adaptive Management and Robust Management 303

14.4.1 Adaptive Management 303

14.4.1.1 Flexibility 304

14.4.1.2 Adaptive Management Concepts and Methods 305

14.4.2 Structural Uncertainty and Robust Management 306

14.5 Moving to Robust, Adaptive Management 307

14.5.1 Avoiding the Illusion of Certainty 307

14.5.2 Avoiding the Fallacy of Controllability 308

14.5.3 Avoiding Lack of Robustness (Using a Management Portfolio) 309

14.6 The Precautionary Approach and the Burden of Proof 313

14.6.1 Approach Versus Principle 314

14.6.2 Implementing the Precautionary Approach 315

14.6.3 The Burden of Proof 316

14.6.4 Possible Applications of the Precautionary Approach and the Burden of Proof 316

14.6.4.1 The Stock–Recruitment Relationship 317

14.6.4.2 Over-Fishing Versus the Environment 317

14.6.4.3 Habitat Protection 318

15 The Ecosystem Approach to Fisheries 321

15.1 Rationale for an Ecosystem Approach 321

15.2 History of an Ecosystem Approach 322

15.3 Scope of an Ecosystem Approach 325

15.4 The Ecosystem Approach to Fisheries (EAF) 328

15.5 Implementing EAF 330

15.5.1 Principles 331

15.5.2 Entry Points 332

15.5.3 Resources for Implementation 333

15.6 Implementing EAF: Human Dimensions 334

15.6.1 Components of Human Dimensions 335

15.6.1.1 Social 335

15.6.1.2 Cultural 336

15.6.1.3 Economic 336

15.6.1.4 Political 336

15.6.1.5 Legal and Institutional 336

15.6.2 Human Dimensions Across Scales 337

16 Rights-Based Approaches to Fisheries Management 341

16.1 The Rationale for Fishery Rights 341

16.2 Use Rights 342

16.3 Management Rights 345

16.4 Use Rights and Management Rights in Context 346

16.5 Rights Versus Ownership 350

16.6 The Commons 351

16.7 Human Rights 353

16.8 Practicalities of Use Rights 358

16.9 Forms of Use Rights 359

16.9.1 Customary Tenure/Territorial Use Rights in Fishing (TURFs) 359

16.9.2 Limited Entry 363

16.9.3 Effort (Input) Rights 364

16.9.4 Catch (Output) Quotas 366

16.9.4.1 Individual Quotas and ITQs 367

16.9.4.2 Concerns with ITQs 369

16.9.4.3 Community Quotas 370

16.9.5 Community-Based Use Rights 371

16.10 Use Rights Issues: Initial Allocation 374

16.11 Use Rights Issues: Transferability 375

16.11.1 Efficiency 376

16.11.2 Social Cohesion 377

16.11.3 Concentration of Rights 377

16.12 Choosing a Use Rights System 379

17 Co-management and Community-Based Management 382

17.1 Fishery Co-management 382

17.1.1 Who Is Involved in Co-management? 383

17.1.2 Goals of Co-management 386

17.1.3 Forms of Co-management 386

17.1.3.1 Fisher–Government Co-management 387

17.1.3.2 Community-Based Co-management 388

17.1.3.3 Multi-Stakeholder Co-management 391

17.1.4 Levels of Co-management 393

17.1.5 Co-management and Components of Fishery Management 395

17.1.6 Discussion 397

17.2 Community-Based Fishery Management 397

17.2.1 What Is Community-Based Fishery Management? 398

17.2.2 Rationale for Community-Based Fishery Management 399

17.2.3 What Is Involved in Community-Based Fishery Management? 400

17.2.4 Experiences with Community-Based Fishery Management 401

17.2.5 Community-Based Conservation 403

17.2.6 Community Science 406

17.2.7 Factors of Success in Community-Based Fishery Management 407

Part V Fisheries and the Bigger Picture 411

18 Fisheries and Marine Protected Areas 413

18.1 Fishery Closed Areas 413

18.2 Nongovernmental (Informal) Protected Areas 414

18.3 Marine Protected Areas and OECMs 415

18.4 International Agreements 417

18.5 Types of MPAs and OECMs 418

18.5.1 No-Take MPAs 419

18.5.2 Zoned MPAs 419

18.5.3 Local/Community MPAs 421

18.5.4 Large-Scale MPAs 422

18.5.5 MPA Networks 422

18.6 Design of MPAs 423

18.7 Fishery Benefits and Costs of MPAs and OECMs 424

18.7.1 Examples of Possible Benefits of MPAs 425

18.7.2 Examples of Possible Costs of MPAs 425

18.8 Interactions of MPAs and OECMs with Fisheries 426

18.8.1 Objectives 427

18.8.2 Policy Linkages 428

18.8.3 Governance 428

18.8.4 Rights 429

18.8.5 Participation and Co-management 429

18.8.6 Community-Based Approaches 431

18.8.7 Knowledge 432

18.8.8 Livelihoods 432

18.9 MPAs as a Fisheries Management Tool 433

19 Fisheries and Biodiversity Conservation 437

19.1 Introduction 437

19.2 A Brief History of Biodiversity Conservation in a Fishery Context 437

19.3 Fisheries and Endangered Species 439

19.3.1 Bycatch 440

19.3.2 Turtles 441

19.3.3 Marine Mammals 442

19.3.3.1 Baleen Whales 442

19.3.3.2 Dolphins 443

19.3.3.3 Seals 444

19.3.4 Seahorses 444

19.4 Fisheries and Biodiversity Conservation 445

19.4.1 The Fisheries ‘Stream’ and the Biodiversity Conservation ‘Stream’ 446

19.4.2 Tensions Between the Fisheries and Biodiversity Streams 447

19.4.3 Common Ground of Fisheries and Biodiversity Conservation 448

19.5 Opportunities Across Scales for Linking Fisheries and Biodiversity Conservation 449

19.5.1 Global 449

19.5.2 Regional 451

19.5.3 National 451

19.5.4 Local 452

19.6 Incentives and Opportunities 453

19.7 CBD and IPBES 454

20 Fisheries and Multi-Sectoral Management 456

20.1 Fisheries, Competing Uses and the Need for Management of Multiple Sectors 456

20.2 Integrated Management 459

20.3 Marine Spatial Planning 462

20.4 Ocean Zoning 464

20.5 Blue Economy 466

20.6 Some Common Features of Multi-Sectoral Approaches 467

20.6.1 Rationale 467

20.6.2 Institutional Framework 467

20.6.3 Spatial Delimitation 468

20.6.4 Scale 468

20.7 Fisheries and Multi-Sectoral Management 468

20.7.1 Benefits of Linking Fisheries and Multi-Sectoral Management 468

20.7.1.1 Dealing with Externalities 469

20.7.1.2 Highlighting the Fishery Voice 469

20.7.1.3 Spatial Management 469

20.7.2 Concerns in Fisheries about Multi-Sectoral Management 470

20.7.2.1 Access and Power 470

20.7.2.2 Funding 470

20.7.2.3 Time Constraints 470

20.7.2.4 Dilution 471

20.7.2.5 Environmental Concerns 471

20.7.3 Linking Fisheries and Multi-Sectoral Management 473

20.7.3.1 Objectives 473

20.7.3.2 Values 473

20.7.3.3 Boundaries 474

20.7.3.4 Spatial and Organisational Scale 475

20.7.3.5 Institutions 477

20.7.3.6 Human Angles and Participatory Approaches 477

20.7.3.7 Benefits and Costs 478

20.7.3.8 Knowledge 479

21 Fisheries and Climate Change 481

21.1 Impacts of Climate Change 481

21.1.1 Physical, Chemical, and Biological Impacts of Climate Change 482

21.1.2 Effects of Climate Change on Human Dimensions of the Fishery System 482

21.1.3 Differential Impacts of Climate Change 485

21.2 Vulnerability and Adaptive Capacity 486

21.3 Responses to Climate Change: Mitigation and Adaptation 487

21.4 Responses to Climate Change: Mitigation 489

21.5 Responses to Climate Change: Adaptation 490

21.5.1 Types of Adaptation 492

21.5.2 Community-Based Adaptation 494

21.5.3 Differential Impacts and Benefits of Climate Adaptation 496

21.5.4 Adaptation of Fishery Management and Governance to Climate Change 498

21.5.5 Making Management and Governance more Adaptive, Flexible, and Robust 500

Part VI Conclusions 503

22 Sustaining Fisheries into the Future 505

22.1 A Review of Fishery Systems 505

22.2 A Review of Fishery Sustainability and Resilience 506

22.3 Making Fishery Governance and Management Effective 507

22.3.1 Institutions 507

22.3.2 Robust, Adaptive, and Precautionary Management 508

22.3.3 Ecosystem Approach to Fisheries 509

22.3.4 Rights 509

22.3.5 Co-management 510

22.3.6 Community-Based Management 510

22.4 The Bigger Picture Around the Fishery System 511

22.4.1 Fisheries and Biodiversity Conservation 511

22.4.2 Fisheries, MPAs, and OECMs 512

22.4.3 Fisheries and Multi-Sectoral Management 512

22.4.4 Fisheries and Climate Change 513

22.5 A Closing Note 514

Appendix A Atlantic Canada’s Groundfish Fishery System 516

Appendix B Models of Fishery Systems 524

Appendix C Developing a Framework of Fishery Indicators 538

References 547

Index 630